JISC Project Plan Template - EThOSnet

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					                                   EThOSnet – Project Plan – Version 1.4 – Date 14 November 2007

JISC Project Plan Template
The Project Management Guidelines have detailed instructions for preparing project plans.
Expand tables as appropriate.
Fill in the information for the header, e.g. project acronym, version, and date.
Prepare a cover sheet using the cover sheet template and attach to the project plan.

Overview of Project
1. Background
Summarise the background to the project (and how it builds on previous work) and the need for it (and
why it’s important).

1.1 Completed in September 2006, the EThOS project successfully delivered the prototype
    Electronic Theses Online Service which it set out to develop within the framework of the JISC
    Digital Repositories Programme. EThOS, which will enable users to search a central database of
    UK theses and to download the full text of the selected items in secure format and in the form
    intended by the authors, can be briefly described as follows 1 :
    • It is based on a hybrid IT infrastructure combining: (a) a British Library-based Central Hub for
        HE institutions wishing to have their theses stored centrally and preserved in perpetuity by
        the British Library; (b) interfaces enabling the British Library to harvest the metadata and
        content of theses stored in institutional repositories; (c) a single interface to search and
        access all theses whether or not they are stored in the British Library-based Central Hub;
    • It incorporates an integrated set of procedures to address aspects of IPR, royalties and
        permissions related to theses, based on an Opt-Out policy whereby: (a) embargoed theses
        are not included in the service;(b) a rapid take-down policy is implemented (and insurance
        cover budgeted in) in case of complaints relating to the use of third-party copyright
        material;(c) authors of born-digital theses are strongly encouraged to seek permissions from
        third-party copyright owners.

1.2 The EThOS project also developed a business model that will enable the service to be: (a) run
    on a cost-recovery basis; (b) free at the point of use (at the discretion of the supplying HEI); (c)
    underpinned by a programme of digitisation (of both ‘old’ and ‘new’ theses) to ensure critical
    mass and availability of all UK theses – with the digitisation being carried out by a Digitisation
    Studio to be based at the British Library. This business model supports the principles mandated
    by the UK HE community and relies on sponsorship from HEIs – unless other sources of funding
    are forthcoming – to a level which allows the service to operate on a cost-recovery basis. It is
    expected that the annual sponsorship fee for large institutions will be circa £6,000, smaller
    institutions to take part at a lower sponsorship level or by paying on a piecemeal basis.
    Sponsorship covers both operational and digitisation costs in return for the digitisation of theses
    to the value of the sponsorship. The business model also allows smaller institutions to take part
    paying on a piecemeal basis.

1.3 Now that the EThOS prototype is fully operational and an EThOS business model has been
    developed, the EThOS community wishes to take the work one step further to secure the level of
    institutional buy-in necessary for the service to be financially viable. The desire of the EThOS
    community to turn the EThOS prototype into a fully fledged enhanced service capable of
    adopting new technologies as they develop and of integrating seamlessly with institutional
    academic and organisational practices echoes the support which has already been voiced for the
    initiative at the advocacy events organised during the life of the EThOS project. It is also fully in
    line with the recommendations of the EThOS Project Board – which included representatives

  For a more detailed description of the service, see the EThOS Final Report available at
  See section 8 in the EThOS Final Report.

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                                            EThOSnet - Project Plan – Version 1.4 14 November 2007

     from the HE library and research communities, the Association of Heads of University
     Administration and the British Library – as well as those made by the very positive independent
     evaluation study commissioned by JISC 3 in the second half of 2006.

1.4 Although, with a few notable exceptions, the UK HE community has been relatively late in
    embracing digital technology as a means of providing access to its thesis literature, there is now
    evidence of a significant cultural shift, with an increasing number of UK universities starting to
    mandate electronic deposit of PhD theses. This, coupled with the very positive response that
    JISC received earlier this year, in response to its circular to HEIs inviting expressions of interest,
    in principle, in signing up for a national e-thesis service, would indicate that the EThOSnet
    project is timely.

2. Aims and Objectives
List the broad aim or purpose of the project, and the specific objectives you intend to achieve.

2.1 The overall purpose of EThOSnet is to consolidate and widen institutional participation in EThOS;
    to build a strong EThOS sponsorship network amongst the HE community; and to achieve a high
    level of technological and organisational sustainability for a successful move to ‘live’ status and
    the on-going development of the service, after completion of the project, in the light of new
    technologies and institutional needs.

2.2 In order to achieve this overall aim, the project will seek to meet five main objectives:
     1. To extend the EThOS partnership and encourage ‘early adopters’ – this will require stepping
         up the advocacy campaign initiated by the EThOS project and putting in place a highly
         visible ‘sign-up’ process with a view to achieving a sufficient level of buy-in to ensure future
     2. To increase the number of e-theses already available in the EThOS prototype, thus
         enhancing UK repository content by significantly increasing its critical mass and extending its
         scope to material that is currently poorly represented in digital repositories;
     3. To enhance the procedural infrastructure and upgrade the EThOS Toolkit accordingly with a
         view to improving institutional workflows in close partnership with registry and academic staff
         and to addressing the HE community’s concerns, identified by the independent evaluation,
         regarding the management of third-party rights and the detection of plagiarism;
     4. To scale up the EThOS technological infrastructure for the move from prototype to ‘live’
     5. To monitor and test relevant technology trends in order to identify those technologies which
         EThOS may be able to adopt in the future to improve further the management of e-theses
         and consolidate the embedding of the service within institutional practices;

3. Overall Approach
Describe the overall approach you will take to achieve the objectives outlined above, including:

    •    Strategy and/or methodology and how the work will be structured
    •    Important issues to be addressed, e.g. interoperability
    •    Scope and boundaries of the work, including any issues that will not be covered.
    •    Critical success factors.

3.1 The scope of EThOSnet will be determined by what needs to be done to (a) ensure a successful
    transfer of the EThOS prototype to ‘live’ service within one year of the life of the project and (b)
    explore ways of improving the marketability and sustainability of the service following its launch.

 Evaluation of Options for a UK Electronic Thesis Service by Key Perspectives Ltd and UCL Library
Services, available at

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    This will require undertaking the following activities – some of which have been recommended by
    the independent evaluation study 4 :
     • Developing and implementing a major advocacy campaign and sign-up process to ensure
          that the service receives a sufficient level of buy-in from the HE community so that it can be
          financially viable in accordance with the business model developed by the EThOS project;
     • Scaling up the technical infrastructure developed by the EThOS project for a successful
          move from prototype to ‘live’ service;
     • Ensuring a distinction is made between the EThOSnet project and the EThOS service, and
          how they relate to each other;
     • Enhancing institutional procedures in partnership with ‘testing HEIs’ and ‘early adopters’, in
          particular with regard to improved workflows and ways in which libraries can best deal with
          permissions relating to third-party rights and the detection of plagiarism – these two issues
          having been identified by the independent evaluation study as the greatest concerns most
          commonly raised amongst the HE community in relation to EThOS;
     • Enhancing the EThOS Toolkit – which will involve adding advice and guidelines reflecting the
          above-mentioned procedural improvements, making the Toolkit more interactive, and
          devising a strategy for its on-going maintenance after completion of the project;
     • Monitoring and testing, as appropriate, relevant technology trends with a view to improving
          the technical sustainability of EThOS and facilitating its interaction with local repositories and
          other potential users of e-theses – also taking into account the work being carried out in
          other areas of repository activity for non-e-thesis content (e.g. CLADDIER, SHERPA DP,
          OAI-ORE, STARGATE, StORe,) to assess applicability to e-theses;
     • Making appropriate links with other repository projects being funded under the same JISC
          programme, (e.g.Spectra-T), and with other JISC services (e.g.JISC Plagiarism Advisory
          Service) where there is potential for synergy and sharing of experience and good practice;
     • Making appropriate links in a wider, international context (e.g. European projects and other
          institutions in continental Europe who are engaged with the e-theses agenda; NDLTD) where
          there is potential for synergy and sharing of experience and good practice;
     • Exploring ways of making the bibliographic records of ‘old’ theses that have not been
          deposited at the British Library searchable via EThOS and, in particular, the feasibility – both
          from a technological and financial perspective – of extracting this data from Copac or the
          HEIs’ library catalogues, with a view to improving the accessibility of the service even further;
     • Ensuring that an appropriate governance structure is put in place for the service
     • Agreeing a set of metrics for the service, and ensuring that the system is capable of
          providing them

3.2 The overall methodology will be similar to that which was used – very successfully indeed –
    during the original EThOS project. The work will be divided into seven workpackages, each led by
    one partner institution, and the workpackage leaders will form a Project Management Team that
    will work in close collaboration with the Project Manager (see Project Management). Additionally,
    there will be significant horizontal, cross-workpackage activity to ensure compatibility and
    consistency across a number of issues, including technical platforms and business requirements.
    It will be the role of the Project Manager to put both formal and informal mechanisms in place to
    ensure the integration of all the different strands of the project and the implementation of coherent
    solutions to project-wide issues.

3.3 The critical success factors for a successful implementation of the EThOSnet project are:
     • Sufficient buy-in from the HE community;
     • Support from university senior administrators and academics;
     • Close cooperation between HEIs and the British Library;

4. Project Outputs
List the tangible deliverables (including reports) your project will create, and the less tangible
knowledge and experience you hope to build and share.

 See section 8 in Evaluation of Options for a UK Electronic Thesis Service by Key Perspectives Ltd
and UCL Library Services, 2006.

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4.1 The main deliverables will be (a) the provision of a fully tested ‘live’ EThOS service by the end of
    year 1 of the project, with access to at least 3,000 additional born-digital e-theses and at least
    20,000 retrospectively digitised theses available by the end of year 2, for the benefit of the HE
    community and the public at large; (b) a fully interactive EThOS Toolkit with a strategy for its on-
    going maintenance following completion of the project; and (c) a set of recommendations for
    sustainability of the service into the future; (d) technologies that will improve/enhance the service.

4.2 The knowledge and experience acquired in the course of the project will be shared and discussed
    within the HE community through workshops and seminars as well as conference papers and
    articles. The EThOS web site 5 will provide access to information pertaining to EThOSnet,
    including dissemination events and progress reports, and will continue to provide access to the
    EThOS Toolkit 6 until a strategy for the long-term maintenance of the toolkit has been developed
    and agreed – an issue which will be tackled within the framework of WP 4.

5. Project Outcomes
List the outcomes you envisage, including their impact on the teaching, learning, or research
communities, and what change they will stimulate or enable.

5.1 The impact which the EThOS service will have on the research, learning and teaching
    communities has been described at some length in the EThOS Proposal and the EThOS Final
    Report. To summarise briefly, it is widely acknowledged that, by providing an online UK Theses
    one-stop shop that is free of charge at the point of use, EThOS will dramatically increase the
    national and international visibility of all UK theses, whether they originate from large, medium or
    small HEIs with or without their own institutional repositories. Greater exposure of research
    graduate work is expected to minimise duplication of effort, maximise cross-fertilisation between
    research programmes both domestically and internationally, and lead to more sophisticated
    graduate research work both because of the promise of greater availability, visibility and use, and
    the possibility of using a wider range of media:ETDs can be made increasingly complex,
    exploiting the capabilities of digital media, including, for example, multimedia, hypermedia, or
    primary datasets. It will speed up the research process by enabling more rapid access to theses
    than is possible under the current thesis document delivery services. Online access to theses will
    also make it much easier for research and teaching staff to incorporate their use in teaching
    programmes targeted at both campus-based and distance-learning undergraduate and
    postgraduate students.

5.2 Additionally, the developments to take place within the framework of EThOSnet will result in:
     • A successful, national solution to the management of e-theses that provides a unified
         presentation of UK e-theses, offering researchers a one-stop shop for resource discovery
         and access to the full-text of e-theses
     • Cultural change across the sector, with a growing number of UK HEIs managing their theses
     • Growing base of ‘early adopters, with the necessary expertise to integrate end-to-end
         workflows both within their home institution, and within the national EThOS service.
     • Strong post-project cross-institutional collaboration for the on-going development of the
         service in the light of emerging new technologies and institutional needs;
     • Enhanced functionality and increased levels of technological and organisational
         sustainability in line with identified UK HE requirements and within the scope of the EThOS
         business model
     • An increased awareness of the relevant applicability of repository and related technologies to
         support the management, delivery and preservation of e-theses;
     • Enhanced understanding of, and guidelines for best practice to help institutions to manage,
         issues relating to third-party rights and plagiarism, both of which have been flagged as
         issues of major concern.

 See at http://www.ethos.ac.uk/.
 Note that the first version of the EThOS Toolkit is available on open access at

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     •     Early awareness among research students of scholarly communication issues, such as
           dissemination, access, permission and attribution, in an increasingly digital/open access
           publishing environment

6. Stakeholder Analysis
List key stakeholder groups and individuals that will be interested in your project outcomes, will be
affected by them, or whose support/approval is essential, both within your institution and in the
community, and assess their importance (low/medium/high).

The key stakeholder groups and individuals who will be affected by the project outcomes, and whose
support or approval is important, can be summarised and rated as follows:

     Stakeholder                                          Interest / stake                               Level
  HE teaching and         •   Greater visibility of their students’ graduate research output            High
  research staff          •   One-stop shop to access full-text e-theses from distributed network
                          •   Enhanced use of graduate research output in teaching
                          •   Revision of regulations for the submission of theses
                          •   Guaranteed preservation of theses in perpetuity by the BL
  HE postgraduates        •   Greater visibility of their graduate research output                      High
                          •   One-stop shop to access full-text e-theses from distributed network
                          •   Guaranteed preservation of theses in perpetuity by the BL
  HE                      •   One-stop shop to access full-text e-theses from distributed network       Medium
  undergraduates &        •   Enhanced use of graduate research output in learning programmes
  life-long learners      •   Guaranteed preservation of theses in perpetuity by the BL
  Commercial and          •   One-stop shop to access full-text e-theses from distributed network       High
  other non-HE            •   Guaranteed preservation of theses in perpetuity by the BL
  based and               •   Knowledge transfer
  international users
  HE senior               •   Revision of theses submission procedures and support network              High
  administrators          •   Promotion of institutional research output
                          •   Enhanced visibility for their institution
                          •   Guaranteed preservation of theses in perpetuity by the BL
  HE / BL                 •   Support network (best practices etc.)                                     High
  information             •   Improved resource discovery and document supply
  professionals           •   Guaranteed preservation of theses in perpetuity by the BL
                          •   Space saving
  HE / BL IT staff        •   Interoperability, support & development work                              High
  Research Councils       •   Greater visibility of research outputs from the research they fund        High
  and other research      •   Possible means of providing metrics to measure impact of their
  funders                     research funding
                          •   Training

7. Risk Analysis
List factors that could pose a risk to the project’s success, assess their likelihood and severity, and
how you will prevent them from happening (or manage them if they if they occur). Cover the types of
risks listed and any others that apply.

      Risk          Probability     Severity      Score             Action to Prevent/Manage Risk
                       (1-5)         (1-5)       (P x S)
Staffing            2              4            8          Recruitment process for project staff to begin as
                                                           soon as authorised by JISC; team work structure
                                                           across a number of institutions with much
                                                           experience of dealing successfully with project
                                                           staff changes; lead with project management
                                                           expertise; project documentation;

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Organisational       1                3         3          Consortium Agreement at start of project; project
                                                           and WP management structure embedded in
                                                           partner institutions;
Financial            1                5         5          Commitment from institutions’ senior managers
                                                           (see letters of support and Consortium Agreement
                                                           at start of project);
Technical            2                4         8          Technical work spread amongst range of partners,
                                                           so no single point of failure; Redundancy (e.g.
                                                           RAID); institutional support;
External             3                2         6          Precise requirements and contracts;
Software             1                3         3          Established, supported technology, on-going
longevity                                                  development commitment
Legal                2                4         8          Use of relevant professional legal expertise;
Lack of content      2                3         6          1,400 digitised items already in EThOS; ‘early
                                                           adopters’ to start populating with current theses;
Lack of buy-in       2                5         10         WP and project staff dedicated to advocacy; led
                                                           by partner with proven experience of successful
                                                           advocacy work from EThOS project; availability of
                                                           NDLTD support for 2007 and 2008 ETD
                                                           international conferences;
Scalability          2                4         8          Early load testing
                                                                • Indicative
                                                                • Serious
                                                           Review large E-print repository

8. Standards
List the standards the project will use in the table below. Also indicate:

     •      Any deviations from the standards the JISC recommends

     •      Where choices exist in an area, the reasons for the standards selected
     • Where proprietary standards are selected in an area where open ones are available, the
       reasons for the use and their scope of deployment

There are two bases for the use of standards within the EThOSnet project. In WP3: Move to Live
Service core standards will be used within the EThOS service. In WP6: Technological Development a
wide range of standards will be investigated for their potential applicability to the EThOS service and
the ability for them to be adopted in both within the scope of the current project and beyond it. The
JISC Standards Catalogue will be referenced throughout the project to guide investigations as
required and to ensure compliance with its content. Those standards listed are considered a priority
for investigation, though it is anticipated that others will be considered during the project as well.

The table below lists all standards it is anticipated using and/or investigating within EThOSnet. Those
marked * will be used within the EThOS service; most of these and the others will be investigated as
part of WP6.

Name of standard or          Version         Notes
OAI-PMH*                     v. 2.0           Open Archives Initiative – Protocol for Metadata
                                              Harvesting. To be used and investigated for
                                              gathering metadata into EThOS.

OAI-ORE                                       Developing specification to facilitate the re-use
                                              and exchange of digital objects between

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                                             repositories and other systems. It will be
                                             investigated for its applicability to the EThOS
SOAP/REST                                   Simple Object Access Protocol and
                                            Representational State Transfer. Standards to be
                                            investigated for communicating between
                                            distributed services within the EThOS architecture
SRW/U                                       Search/Retrieve via Web Service or URL. To be
                                            investigated for providing access onto EThOS.
METS, MPEG-21 DIDL,                         Packaging formats to be investigated for use in
IMS CP, ATOM                                managing complex e-theses
OpenURL                    v.0.1 and 1.0    To be investigated to facilitate links into and out of
                           (Z39.88-         EThOS to facilitate location of e-theses
RDF Site Summary           Various          Syndication standards to be investigated for
(RSS)*, ATOM                                facilitating alerting services from EThOS
Identifier schemes,                         Identifier standards that will be tracked for their
including DOI, Handles,                     applicability and relevance to supporting the
and the info URI                            EThOS service in the long-term.
Qualified Dublin Core*                      Used as the basis for the DC application profile for
                                            the UK E-Theses Core Metadata set.
UK E-Theses Core                            As developed within the Electronic Theses and,
Metadata set*                               subsequently, the EThOS feasibility study, and
                                            recommended for use within the EThOS Toolkit
MARC21                                      Cataloguing standard to be investigated for
                                            mapping to UK E-Theses Core Metadata set for
                                            import into the EThOS service
XML*                       1.1              Mark-up language used internally to EThOS for
                                            data management and with potential use within
                                            web services for EThOS.
WAI WCAG Guidelines*                        Accessibility standards for people with visual and
                                            other impairments
TIFF format for the                         Master format (following the Digital Library
digitisation of printed                     Federation’s ‘Benchmark for faithful digital
theses as greyscale                         reproductions of monographs and serials’ (see:
master images at 300-                       http://www.diglib.org/standards/bmarkfin.htm).
400dpi resolution
PDF with hidden text                        Delivery format (following the Digital Library
(for BL digitised                           Federation’s ‘Benchmark for faithful digital
theses)*                                    reproductions of monographs and serials’ (see:
OAIS Reference Model                        To be investigated for its assistance in supporting
                                            the digital preservation of e-theses stored at the
                                            BL. The project will liaise as appropriate with
                                            other projects working on digital preservation
                                            (funded under the current Repositories and
                                            Preservation Capital Call) and with organisations
                                            such as the DCC and DPC to ensure best practice
                                            in application of OAIS.

9. Technical Development
Indicate how the project will follow best practice for technical development, and any specific
technologies or development approaches the project will adopt and why.

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The technical development work undertaken by the project will be split into two halves, divided
between WP3: Move to Live Service and WP6: Technological Development (as for section 7 on
Standards, above).

WP3 will see a scaling up of the pilot EThOS service developed within the EThOS feasibility study for
delivery as a live service. The system is based around a modified version of the EPrints 2 software,
with adaptations made to suit the purposes of EThOS and the local environment at the British Library.

WP3 will also see the establishment of a digitisation suite at the British Library to permit the retro-
digitisation of paper theses as part of the subscription model for EThOS. This will involve the
deployment of a specialist scanner and the associated environment for this to facilitate rapid scanning
of bound theses.

WP6 will be undertaking a wide range of technical investigations, and developing a range of these.
Test implementations will be established for examining how standards can be used to meet identified
requirements, and prototype services developed where applicable to demonstrate the value of
particular technologies and standards within EThOSnet and the UK e-theses community. We will be
primarily working with the EPrints, DSpace, and Fedora repository systems, though will also be
exploring two commercial systems for their ability to interact with the EThOS service: DigiTool for Ex
Libris and Digital Commons from ProQuest. A particular area of work will be the refinement of the UK
E-Theses Metadata Core set and testing of this within these respective systems.

Although not specifically technical in nature, WP6 will also be reviewing the architecture for EThOS to
advise on future development. This will bring the two technical workpackages together. For the
duration of the project a close connection will be kept between WP6 and WP3 to ensure that technical
investigations for the future are firmly based on current reality. The work of WP6 will be generally
supported through an ongoing technology watch activity that will generate a wiki for sustainable
reference by the EThOS service.

10. Intellectual Property Rights
Indicate who will own the intellectual property created by the project List any intellectual property
owned by third parties that will be incorporated into project outputs, when/how you will obtain
permission to use them, and any implications for project outputs after the project ends.

The EThOS Central Hub will be using technologies for which licences have been paid by the British
Library. All the software and technologies developed by the project will be open-source. All the
standards that will be used and developed by the project will be in the public domain.

The original EThOS toolkit, developed by the earlier EThOS project has already completed some
useful work in respect of intellectual property rights in relation to e-theses, and this work will be used,
and built on throughout the course of the EThOSnet project. The enhanced toolkit, developed in WP4,
will be made freely available, via the project website and with appropriate acknowledgement of the
contribution made by the authors of the ‘first edition’.

WP 5 will be focusing on legal issues, and in particular on those issues that were not fully addressed
by the original EThOS project, or that may emerge during the testing and early adopter
implementation phase. Issues such as third party rights and plagiarism detection, already known to
be of concern within the community, will be considered more fully.

The Business Model and Intellectual Property Rights solutions delivered by the EThOS project and
agreed by the EThOS Project Board, JISC and the British Library (as service provider) formed a
fundamental part of the system requirements and the service has been developed around those
requirements. The EThOSnet partnership will offer a forum for discussion of the issues arising from
the business model and IPR, but changes to the business model and the approach to IPR are outside
of the scope of the project.

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Project Resources
11. Project Partners
List all project partners (including subcontractors), their roles, and the main contact. Indicate the date
a consortium agreement was signed (or will be signed), and send a copy to the programme manager.
The primary project partners and first point of contact are:

Imperial College London (lead institution)          The University of Birmingham
Kevin O’Leary : kevin.oleary@imperial.ac.uk         [Jill Russell: j.c.russell@bham.ac.uk ]

British Library                                     The University of Glasgow
[Anthony Troman: anthony.troman@bl.uk               [Colin Galloway: c.galloway@lib.gla.ac.uk ]

Cranfield University                                The University of Hull [Chris Awre: c.awre@hull.ac.uk]
[Simon Bevan: s.bevan@cranfield.ac.uk ]

The Robert Gordon University
[Susan Copeland: s.copeland@rgu.ac.uk ]

Project Director: Owen Stephens [o.stephens@imperial.ac.uk]
Deputy Project Director: Liz Davis [e.davis@imperial.ac.uk]
Project Manager: Kevin O’Leary [Kevin.oleary@imperial.ac.uk]

The secondary and associate partners are:

Secondary Partners                                    Associate Partners
Cardiff University                                    Association of Heads of University Administration
University of Edinburgh                               National Library of Wales
University of Leicester                               Repositories Support Project
University of Nottingham                              SHERPA
University of Southampton                             University of Wales, Aberystwyth
University of Warwick

Consortium agreement: this will be signed by partners and sent to the Programme Manager at JISC
by the end of July 2007.

12. Project Management
Briefly describe the project management framework, including organisation, reporting relationships,
decision process, and the role of any local management committee.

List all members of the project team, their roles, and contact details. Indicate the proportion of time
the project manager will spend on project management.

Indicate if the project has training needs and how they will be met.

12.1 The project is managed by a full-time Project Manager based at the lead institution, following
     PRINCE2 project management methodology. The Project Manager will have responsibility for
     the day-to-day management of the Project, working with a Project Board. The membership of
     this Project Board will include all the WP leaders and the Project Manager, and will be chaired by

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     the Project Director. Its role will include the oversight of the project, monitoring progress to
     ensure work is being delivered according to the plan. Decision making relating to the project will
     rest with the Project Board. A key role for the Project Manager will be to cross-manage all the
     WPs to ensure the cohesion of the overall project (see WP 1). Face-to-face meetings of the
     Project Board will be scheduled to take place to coincide with key milestones/deliverables, or at
     other times if required. These meetings will be supplemented by email or telephone interactions
     as and when necessary.

12.2 The Project Manager will be responsible to the Project Director, who is also based at the lead

12.3 The members of the Project Board are:

Imperial College
Owen Stephens: Project Director. o.stephens@imperial.ac.uk
Liz Davis: Deputy Project Director. e.davis@imperial.ac.uk
Kevin O’Leary: Project Manager. kevin.oleary@imperial.ac.uk
Richard Jones: Technical Developer. richard.d.jones@imperial.ac.uk

British Library
Anthony Troman anthony.troman@bl.uk
Joanna Newman Joanna.newman@bl.uk

Cranfield University
Simon Bevan s.bevan@cranfield.ac.uk
Paul Needham paul.needham11@btinternet.com

Robert Gordon University
Susan Copeland s.copeland@rgu.ac.uk

University of Birmingham
Jill Russell j.c.russell@bham.ac.uk

University of Glasgow
Colin Galloway c.galloway@lib.gla.ac.uk

University of Hull
Chris Awre c.awre@hull.ac.uk

12.4 An Advisory Board will be appointed to provide strategic oversight of the project. It will receive
regular progress reports from the Project Director, advise on strategic and policy issues, and endorse
any proposed major changes to the original work plan, (subject to approval by JISC). It will also have
an advocacy role for the project, helping to maintain a high level of visibility of its work across the UK
and abroad. Members will be drawn from key stakeholder groups, to ensure that the various interests
are represented, and can help inform the strategic direction of the project. It will be chaired by one of
the representatives of the key stakeholder groups, as recommended by the lead institution. The
Advisory Board may choose to take advice from third parties as is required. The Advisory Board will
meet at times linked to key milestones/deliverables identified in the Project Plan. It is expected that
there will be no more than six meetings during the life of the project.

The membership of the Advisory Board is as follows:
Chris Hankin (Imperial College, Chair of the Advisory Board)
Owen Stephens (Project Director)
Kevin O’Leary (Project Manager)
Phil Sykes (CURL representative)
Susan Copeland (Non-CURL institution representative)
Colin Galloway (Glasgow University – former Project Director, EThOS project)

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                                          EThOSnet - Project Plan – Version 1.4 14 November 2007

Anthony Troman (British Library representative)
Jan Wilkinson (British Library representative)
Mike Hopkins (Repository Support Programme representative)
John Town (Loughborough University – AHUA representative)
Duncan Connors (National Postgraduate Committee representative)
Neil Jacobs (JISC Programme Manager)

13. Programme Support
Indicate if there are specific areas where you would like support from the programme or programme
The EThOSnet partnership hopes to have assistance from the Repositories Support Project in
brokering relationships across related projects, and from relevant JISC services, to assist with
communication with European and other international organisations working with e-theses, and with
its dissemination role.

14. Budget

Project Partner                  JISC Contribution
                                 Year 1          Year 2             Year 3         JISC Total
Imperial College London          52993           78826              0              131819
University of Birmingham         10982           11971              1010           23963
Cranfield University             10560           11520              963            23043
University of Hull               4774            5208               434            10416
University of Glasgow            2015            2335               535            4885
Robert Gordon University         2290            2500               210            5000
The British Library              97000           0                  0              97000
Total                            180614          112360             3152           296126

15. Workpackages
Use the workpackages template to plan the detailed project work and attach as Appendix B. Clearly
indicate project deliverables and reports (in bold), when they are due, phasing of workpackages, and
explain any dependencies. You may also attach a Gantt chart, diagram, or flowchart to illustrate

In order to achieve its aims and objectives EThOSnet will implement seven workpackages. The
project team will include several members of staff who were actively involved with the earlier EThOS

Workpackages (WP)           WP leaders                  Project officers
1 Project management        Kevin O’Leary, Project      Kevin O’Leary Project
                            Manager (Imperial)          Manager (Imperial)
2 Dissemination,            Jill Russell (Birmingham)   Tracy Kent
advocacy and sign-up                                    (Birmingham)
3 Move to live service      Anthony Troman (BL)
4 Procedural                Simon Bevan (Cranfield)     Paul Needham
enhancements                                            (Cranfield)
5 Legal enhancements        Susan Copeland (RGU)
6 Technological             Chris Awre (Hull)           Richard Jones
enhancements                                            (Imperial)
                                                        Paul Needham
7 Evaluation and exit       Kevin O’Leary, Project
strategy                    Manager (Imperial)

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                                          EThOSnet - Project Plan – Version 1.4 14 November 2007

Full details of each workpackage are given in Appendix A.

16. Evaluation Plan
Indicate how you will evaluate the quality of the project outputs and the success of the project. List
the factors you plan to evaluate, questions the evaluation will answer, methods you will use, and how
success will be measured. Expand as appropriate on how you will conduct the evaluation.

 Timing      Factor to Evaluate     Questions to Address         Method(s)      Measure of Success
WP2         Implementation of      How well the project        Monitoring of   60 HEI sign-ups in
            Sign-Up Process        targeted its outputs to     institutional   year 1 and an
                                   as wide a range of HEIs     sign-ups        additional 10 by the
                                   as possible?                                end of the project.

WP4         EThOS Toolkit Site     How well was feedback       Request for     Decreasing number of
                                   and information             user            requests/questions
                                   gathered incorporated       feedback        throughout life of
                                   into the toolkit?           (survey);       project and robust
                                   Were legal concerns of      Monitoring of   website with good
                                   users answered by           requests and    traffic.
                                   toolkit content?            whether they    Institution identified to
                                   Who will be responsible     are covered     own ongoing
                                   for ongoing                 within the      maintenance of the
                                   maintenance of the          toolkit.        toolkit.
                                   EThOS toolkit?              EThOSnet
WP          Enabled Early          Are HEIs comfortable        Workshops;      3,000 born digital and
            Adopters               with the service?           Continuous      20,000 retro-digitised
                                   Were the best advocacy      feedback;       theses by end of
                                   channels used to            Survey          project
                                   engage and enable
                                   early adopters?
WP4/        Sustainability of      Will the EThOS service      Final           Statistics on usage of
WP7         EThOS service          continue to function and    Evaluation      service and institution
                                   grow upon completion of     Report (WP7)    identified to own
                                   the project?                                support of the service
                                   Who will support the
                                   service once the Project
                                   is delivered?

WP3         Digitisation Studio    Was the equipment           BL              Quality equipment, fit
                                   purchased and               experience      for purpose, holding all
                                   implemented the best fit    staff; Tender   theses
                                   for purpose?                process in
                                   Can the studio handle       place
                                   necessary through-flows
                                   of bound and unbound

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                                            EThOSnet - Project Plan – Version 1.4 14 November 2007

17. Quality Plan
Explain the quality assurance procedures you will put in place to ensure that project deliverables meet
quality expectations and acceptance criteria. Complete the table below for each of the major
deliverables providing as much detail as possible. Repeat the table as many times as necessary to
accommodate all deliverables.

Output    Project Management
Timing       Quality      QA method(s)               Evidence of              Quality          Quality
             criteria                                compliance           responsibilities      tools
WP1       Cross-             Following            Key milestones          Project Manager    PRINCE2
          management         PRINCE2              signed-off;
          of work            methodology to       Detailed
          packages           ensure products      workplan; Project
                             delivered to time,   meetings in place;
                             budget, budget
WP2       Implementation     Enhance toolkit      60 HEIs signed-         WP2
          & Sign-Up          to assist sign-up    up by year 1 and
                             and use of           a further 10 by
                             EThOS service;       year 2.
                             Monitoring Tool
                             and set-up of
                             support system
WP3       Fully              Load and             Sign-off of live        WP3
          functioning,       functionality        production system
          tested EThOS       testing of Central   and Digitisation
          service            Hub and              Studio ready for
                             Digitisation         business;
                             Studio               throughput of
                                                  theses at
                                                  expected live
WP4       Upgrade the        Capture feedback     WP4 report on           WP4/WP2
          current EThOS      from workshops,      current toolkit and
          toolkit to cater   presentations,       feedback from
          for HEI            FAQs to identify     different sources
          requirements       new areas of         captured in a
          and enable         content              report. Robust
          fully informed                          enhanced EThOS
          early adopters                          toolkit and
                                                  feedback through
                                                  embedded in the
WP5       Develop            Collaboration        Initial legal report;   WP5                External
          additional legal   with IPR lawyer;     document                                   Consultant
          guidelines for     to address           commissioning
          inclusion in the   concerns             legal advice from
          toolkit                                 IPR lawyer;
                                                  outlining proposed
                                                  enhancements to
                                                  toolkit from early

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                                           EThOSnet - Project Plan – Version 1.4 14 November 2007

WP6       Technological       Monitoring of       Mid project and      WP6
          Enhancements        technological       End project report
                              enhancements        outlining
                              across              recommendations
                              metadata, web
                              service and SOA,
                              and surfacing
                              existing theses
WP7       Final Report        Commissioning       Summative report     WP7                 External
                              summative           and business plan                        Consultant
                              evaluation report   for sustainable
                              by external         service.
                              consultant to       Questionnaire
                              review success of   used to capture
                              project across      responses.
                              key deliverable

18. Dissemination Plan
Explain how the project will share outcomes and learning with stakeholders and the community. List
important dissemination activities planned throughout the project, indicating purpose, target audience,
timing, and key message.

See WP2 for further details

 Timing      Dissemination Activity            Audience               Purpose           Key Message
             Website/wiki/blog             Library and HE       Awareness             Development of
                                           community            raising and           EThOS service
                                                                keeping people        and timescales for
                                                                informed of           implementation
             Seminars/workshops at         Library and HE       Awareness             Timescales for
             professional conferences      community            raising and           implementation of
                                                                keeping people        EThOS service
                                                                informed of           and mechanisms
                                                                progress;             for joining;
                                                                Answering             Explaining the
                                                                questions and         business model
                                                                clarification where
             Published articles            Library and HE       Awareness             Development and
                                           community            raising and           launch of live
                                           Wider community      keeping people        service
                                           of people involved   informed of
                                           with or interested   progress;
                                           in ETD issues        Sharing
                                                                experience and
                                                                lessons learned
             One-day event to launch       Library and HE       Publicity for         EThOS service
             live service                  community            launch of live        live and fully
                                                                service               operational
                                                                Recruitment of as

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                                            EThOSnet - Project Plan – Version 1.4 14 November 2007

                                                                 many institutions
                                                                 as possible to the
                                                                 live service

19. Exit and Sustainability Plans
Explain what will happen to project outputs at the end of the project (including knowledge and
learning). Focus on the work needed to ensure they are taken up by the community and any work
needed for project closedown, e.g. preservation, maintenance, documentation.

     Project Outputs            Action for Take-up & Embedding                   Action for Exit
Live service                   Publicity throughout project about        EThOS embedded as a
                               service and its benefits.                 sustainable live service within
                               Responding to considerable interest       the BL
                               shown by community in EThOSnet
                               project to ensure engagement with,
                               and sign-up to the service
                               Sustainable business model,
                               acceptable to the community, to
                               ensure sign-up to the live service
EThOS toolkit                  To be made freely available to the        Strategy in place to maintain
                               community, initially on project           and update the toolkit after the
                               website                                   project ends
                               Project to have defined how the
                               toolkit should continue to be updated,
                               for how long, and by whom, after the
                               project ends
Project website/wiki                                                     To be maintained by Imperial
                                                                         College for 3 years after project
Greater shared                 Achieved through advocacy and
understanding of issues        dissemination activities undertaken
relating to ETD                throughout the project; and
                               participation by early adopters, and
                               others joining the EThOS service
Technology Watch               Wiki and final report on technologies     Establish long-term access to
                               relevant to EThOS                         the Wiki for reference and
                                                                         potential further development.
                                                                         Final report to be disseminated
                                                                         through project website

List any project outputs that may have potential to live on after the project ends, why, how they might
be taken forward, and any issues involved in making them sustainable in the long term.
   Project Outputs          Why Sustainable          Scenarios for Taking            Issues to Address
EThOS live service        Assumes sufficient                                      Business model will
                          buy-in from                                             need to be sufficiently
                          community to provide                                    robust for the BL to be
                          income stream at a                                      able to continue
                          level that enables                                      operating as a live
                          service to continue                                     service, and sufficiently
                          on a cost-recovery                                      attractive to HEIs to
                          basis                                                   ensure continued buy-
EThOS toolkit             Initially freely        Over medium to long term        Under scenario 1)
                          available on project    two possible scenarios:         strategy/arrangements
                          website/wiki, and                                       will need to be put in

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                                       EThOSnet - Project Plan – Version 1.4 14 November 2007

                   during period             1) toolkit will need to be      place to ensure toolkit
                   immediately after         updated periodically, to        continues to be
                   project ends will still   reflect changing                updated and can be
                   be current/reflect        practices/enhanced              freely and easily
                   current practices         understanding/technology        accessible
                                             developments, if it is to
                                             remain useful

                                             2) EThOS service
                                             becomes strongly
                                             embedded within all
                                             institutions and issues
                                             relating to management of
                                             and providing access to e-
                                             theses becomes such core
                                             business for universities
                                             and their libraries, that the
                                             need for a special EThOS
                                             toolkit becomes redundant
Technology Watch   It will inform the        Merge with project wiki or      Location of wiki to be
                   ongoing development       maintain as separate entity     determined and access
                   of EThOS and can                                          privileges to this
                   act as the basis for
                   further work

                                         Page 16 of 28
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Appendix A

WORKPACKAGES                 Month    1   2   3   4   5   6   7   8   9   10      11   12   13   14   15   16   17   18   19   20   21   22   23   24

1: Project Management        1-24     X   X   X   X   X   X   X   X   X   X       X    X    X    X    X    X    X    X    X    X    X    X    X    X
2:Dissemination,             1-24     X   X   X   X   X   X   X   X   X   X       X    X    X    X    X    X    X    X    X    X    X    X    X    X
Advocacy and Sign-Up
3: Move to ‘Live’ service    1-12             X   X   X   X   X   X   X   X       X    X    X    X
4: Procedural                1-24     X   X   X   X   X   X   X   X   X   X       X    X    X    X    X    X    X    X    X    X    X    X    X    X
5: Legal Enhancements        1-24     X   X   X   X   X   X   X   X   X   X       X    X    X    X    X    X    X    X    X    X    X    X    X    X
6: Technological             1-24     X   X   X   X   X   X   X   X   X   X       X    X    X    X    X    X    X    X    X    X    X    X    X    X
7: Evaluation and Exit       18-23                                                                                   X    X    X    X    X    X

Project start date: 18-05-2007
Project completion date: 01-03-2009
Duration: 24 months

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                                                                                                Outputs                            Responsibility
          Workpackage and activity                    Earliest     Latest           (clearly indicate deliverables &   Milestone
                                                                                             reports in bold)
                                                       Start     Completion

                                                       Date        Date

                                                                                                Outputs                Milestone   Responsibility
              Workpackage and activity                Earliest     Latest           (clearly indicate deliverables &
                                                                                             reports in bold)
                                                       Start     Completion

                                                       Date        Date

                                                      18/05/07    01/03/09                                                         KOL
WORKPACKAGE 1: Project Management

Objective: To ensure that all the Workpackages of
the project are managed coherently and that all the
project outputs are delivered within the agreed
deadlines and budget

1.1 Produce project plan and detailed work plan       18/05/07    08/08/07       Project plan and detailed work plan   Milestone   KOL
1.2 Project web site/wiki set up                      18/05/07    08/09/07       Project web site/wiki                 Milestone   KOL
1.3 Project management processes agreed (meeting      18/05/07    31/07/07       Project management framework                      KOL
    schedules, budget/payment arrangements,
    reporting arrangements and schedules)
1.4 Consortium agreement agreed and signed by all     18/05/07    08/08/07       Signed consortium agreement           Milestone   KOL
    partners                                                                                                               3
1.5 Prepare Final report                              01/02/09    01/03/09       Final report                          Milestone   KOL
Kevin O’Leary (KOL) Project Manager

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                                                                                                           Outputs                                  Responsibility
          Workpackage and activity                         Earliest        Latest              (clearly indicate deliverables &         Milestone
                                                                                                        reports in bold)
                                                             Start      Completion

                                                             Date           Date

                                                                                           • Development of advocacy strategy                       JR
WORKPACKAGE 2: Dissemination, Advocacy and                 18/05/07       01/03/09         • Implementation of sign-up process
Sign-up                                                                                    • General dissemination
                                                                                           • At least 60 sign ups in year 1; at least
Objective: To secure buy-in from as many HEIs as                                             10 additional sign ups in year 2
possible by providing information and support to                                           • At least 3,000 additional born-digital
prospective partners, and sharing project outcomes                                           e-theses available by end of project
with a wider audience of stakeholders                                                      • At least 20,000 retrospectively
                                                                                             digitised theses by end of project
2.1 Assist WP4 in reviewing the EThOS toolkit.             18/05/07      31/08/07 for      WP4 report on Toolkit                                    All, with WP4
Contribute the answers to FAQs arising from partners,                   initial review,
to the Toolkit. Possible topics include:                                further FAQs
     • EThOS and international developments                                ongoing
     • EThOS in relation to Open Access
     • Resource discovery for theses
     • Clarifying the status of standards adopted

2.2 Finalise participation options in line with EThOS     Partly done     28/09/07         Clear budget planning advice to partners                 All, with WP3
Business Model and dates for financial planning in          (JISC
HEIs (Incl developing a banding system for the             banding)                        Publication of participation options         Milestone
sponsor scheme fees as recommended by the                                                  and dates, and digitisation quotas               1
independent evaluation and JISC and price options for
digitising paper copies to be preserved and
‘disposable copies
2.3 Develop additional tools, in collaboration with        01/06/07       28/02/08         Enhanced toolkit                              See WP4    TK with WP4
WP4, to assist partners in being able to sign up to and
participate in the EThOS service. These may include,
for example:
     • A self-assessment checklist of policies and
         procedures that need to be in place for a)
         future theses submission and b) retrospective

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                                                                                                       Outputs                                Responsibility
           Workpackage and activity                         Earliest     Latest            (clearly indicate deliverables &       Milestone
                                                                                                    reports in bold)
                                                             Start     Completion

                                                             Date        Date

        supply and/or conversion of theses
    •   A public version of the institutional costs
        model developed under EThOS
    •   A list of desiderata for further development,
        arising from discussion with partners
    •   A list of queries arising from discussions with
        partners, that may need legal advice via WP5

2.4 Develop a monitoring tool to assist WP2 staff in        01/06/07    31/08/07       Advice tailored at the required level                  TK
providing the appropriate level of advice to
prospective partners. For example this might be a                                      Progress at partner HEIs is tracked        Milestone
database of partners recording their level or                                                                                         2
readiness, involvement in other repository
developments, the steps they need to take locally, and
key contacts
2.5 Make initial contact with institutions that have        01/06/07    31/08/07       Potential early adopters are engaged in                TK
already expressed an interest via the JISC                                             projects
consultation for EThOS and via other channels,                                         Mailing list(s) of potential partners      Milestone
ascertain their current status and support them                                        (possibly grouped according to status)         3
accordingly                                                                            Initial contact with all interested HEIs
                                                                                       by August 2007
2.6 Set up a system to support key contacts (eg             01/06/07    31/08/07       Publication of initial contact point for   Milestone   TK
repository administrators, library staff, Registry staff)                              support                                        4
in HEIs and to empower these key staff to advocate e-                                  Establishment of an EThOS blog or
theses locally. This support may take the form of                                      wiki
remote one-to-one (phone or email); site visit, where                                  FAQs and supporting documentation
necessary; exchange of experience workshops;                                           Referral system for detailed advice, eg
formal links with the Repository Advisor Service;                                      technical, legal
establishment of an EThOS blog or wiki
2.7 Pro-actively support partners through the sign-up       01/07/07    01/03/09       Early adopters engaged in project                      TK, all WPs
process through timely and relevant communications
with key contacts, and encouraging progress through                                    60 sign-ups by July 2008                   Milestone
twin streams for born-digital and retrospectively                                                                                     5

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                                                                                                     Outputs                                 Responsibility
          Workpackage and activity                         Earliest     Latest           (clearly indicate deliverables &        Milestone
                                                                                                  reports in bold)
                                                            Start     Completion

                                                            Date        Date

converted theses. Agree allocation of work amongst
WP members (and other WPs as necessary)
2.8 Develop a communications plan to keep                  18/05/07    31/08/07       Articles and template articles for local               All, in
stakeholders informed of progress. These                                              use                                                    collaboration
stakeholders include current research students,                                                                                  Milestone   with other WPs
alumni, supervisors, administrators, registrars, library                              At least 6 articles in key publications        6
staff and repository administrators. The plan may                                     by July 2008
include items for alumni newsletters, articles in
relevant professional journals, announcements via the
E-THESE_UK Jiscmail list (TK to become a list owner
for this list)
2.9 Devise plan for managing priorities/expectations, if   01/10/07    31/07/08       Strategy for managing success                          All in
level of interest proves very high. This may require eg                                                                                      collaboration
gathering and analysing data on past use of theses –                                  3,000 born-digital and >20000              Milestone   with other WPs
from BL and locally, to help ascertain priorities for                                 retrospectively digitised theses in the        7
maximum customer satisfaction                                                         live service by the end of the project
2.10 Issue a further call for participation halfway        01/05/08    31/05/08       Further call for sign ups                              TK
through the project                                                                                                              Milestone
                                                                                      10 further sign ups by end of project          9
2.11 Disseminate the project’s work via presentations      01/06/07    01/03/09       Conference presentations or workshops,                 All
at appropriate conferences                                                            tailored to audiences, including:
                                                                                           • JISC repositories conference
                                                                                               5-6 June 2007
                                                                                           • EDT2007 13-16 June 2007
                                                                                           • NAG conference 12-13
                                                                                               September 2007                    Milestone
                                                                                           • EDT 2008                                10
Tracy Kent (TK)
Jill Russell (JR)
Joanna Newman (JN)
Morag Greig (MC)
Adrian Clark (AC)

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                                                                                                      Outputs                                 Responsibility
           Workpackage and activity                        Earliest     Latest            (clearly indicate deliverables &        Milestone
                                                                                                   reports in bold)
                                                            Start     Completion

                                                            Date        Date

                                                           18/05/07    17/05/08       • Fully functioning, fully tested                       AT
WORKPACKAGE 3: Move to ‘live’ service                                                   EThOS service ready to go live by
                                                                                        end of year
Objective: To scale up the EThOS prototype system                                     • Fully informed, and trained early
to a configuration appropriate for live working at the                                  adopters
volumes and throughput expected when the system
goes live.

3.1 Initial load testing                                   11/12/07    28/12/07       Order to preferred supplier for hardware                AT
3.2 ‘Live’ hardware installation                           01/01/08    29/02/08       Switched on hardware                                    AT
3.3’Live’ software installation and configuration          20/03/08    07/04/08       Fully installed software operating as the   Milestone   AT
                                                                                      prototype                                       1
3.4 Records and material load to live system               20/05/08    11/06/08       All test data and content loaded to                     AT
3.5 Hardware sizing and purchase                           01/10/07    31/12/07       Initial sign-off OR identified issues                   AT
3.6 Admin support interface development                    07/02/08    19/03/08       Interface for support staff                             AT
3.7 Functionality testing                                  08/04/08    19/05/08       Fully tested and signed off                 Milestone   AT
                                                                                      functionality                                   2
3.8 Load testing                                           08/04/08    19/05/08       System sized to bear initial expected       Milestone   AT
                                                                                      loads                                           3
3.9 Preparation for live running                           20/05/08    17/06/08       Production system ready                     Milestone   AT
3.10 Explore possibility that some theses sent for retro   01/07/07    31/12/07       Better understanding of requirements of                 JR/AT
digitisation could be ‘unbound’ and need not be                                       HE for retro digitisation of theses, and
returned to the home library, and what impact this                                    possible efficiencies and savings
would have on improving speed and efficiency of
processes and reducing costs
3.11 Digitisation scanner tender                           01/01/08    31/03/08       Identified supplier and scanner models                  AT
3.12 Digitisation studio build preparation                 01/04/08    30/04/08       Studio ready for testing (with scanners)                AT
3.13 Digitisation studio testing                           12/06/08    01/07/08       Studio ready for business                   Milestone   AT

                                                                      Page 22 of 28
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                                                                                                       Outputs                              Responsibility
           Workpackage and activity                          Earliest     Latest           (clearly indicate deliverables &     Milestone
                                                                                                    reports in bold)
                                                              Start     Completion

                                                              Date        Date

Anthony Troman (AT)

WORKPACKAGE 4: Procedural Enhancements                       01/05/07    01/03/09

Objective: To provide advice on workflow and
implementation issues via an upgraded interactive
4.1 Analysis of the current EThOS toolkit                    01/05/07    31/08/07       Brief report on the contents, current               SB, PN, SC,
Sub-task 1: structure and location                                                      structure and location of the toolkit               AT
Sub task 2: current toolkit contents
Sub-task 3: assess potential interactive models for
structuring the toolkit(in the light of the need to ensure
sustainable development following project completion)
4.2 Collaboration to identify necessity for developing       01/06/07    01/03/09       Enhanced content                        Milestone   SB, PN, SC,
new areas of content                                                                                                                1       AT
Sub-task 1: with project partners
Sub-task: staff responsible for embedding the EThOS
service within institutions (after they’ve been identified
as early adopters)
4.3 Implement new toolkit                                    01/09/07    01/03/09       Toolkit site                            Milestone   PN, SB, SC,
Sub-task 1: install software                                                            Testing methodology                         2       AT
Sub-task 2: enter content                                                               Enabled early adopters
Sub-task 3: develop a methodology for user testing                                      Completed toolkit
(including the involvement of staff responsible for
embedding the EThOS service within institutions)
Sub-task 4: test the toolkit with project partners and
early adopters. Make available interactive functionality
of toolkit
Sub-task 5: Revise the toolkit in the light of feedback,
and of the experience of other partners throughout the
project. Ensure additional legal guidelines (WP5) and
the Institutional Business Process template (WP2) are

                                                                        Page 23 of 28
                                                                               EThOSnet– Project Plan Workpackages – Version 1.5 – 29 October 2007

                                                                                                 Outputs                              Responsibility
          Workpackage and activity                     Earliest     Latest           (clearly indicate deliverables &     Milestone
                                                                                              reports in bold)
                                                        Start     Completion

                                                        Date        Date

added to the toolkit (WP5)
Sub-task 6: Production of final toolkit
4.4 Develop strategy for sustainable support and       01/05/07    01/03/09       Strategy describing how toolkit can     Milestone   SB,PN,SC,AT
ongoing development of toolkit                                                    be sustained                                3
4.5 Integrate toolkit into EThOS service               01/01/08    01/03/09       Integrated toolkit                      Milestone   PN,AT
Simon Bevan (SB)
Paul Needham (PN)
Susan Copeland (SC)
Anthony Troman (AT)
                                                                                  • Legal advice for the community
WORKPACKAGE 5: Legal enhancements                      18/05/07    01/03/09       • Additional guidelines for inclusion
                                                                                    in EThOS toolkit
Objective: to identify and explore relevant legal
issues not fully addressed by the EThOS project that
arise during the testing and the ‘early adopters’
implementation stage.

5.1   Collate and analyse known legal issues           18/05/07    31/08/07       Production of report for the EThOSnet               SC
      unresolved from the EThOS project and                                       team.
      associated independent evaluation.
5.2   Liaise with external ETD groups, including the   18/05/07    31/12/08       Incorporation of information received    Update     SC / Other
      European group ‘GUIDE’ to obtain relevant                                   into either the toolkit or the           reports:   GUIDE
      legal advice and guidance.                                                  documentation provided to the IPR        31 Aug     participants
                                                                                  lawyer.                                   2007
                                                                                                                           28 Feb
                                                                                                                           31 Aug
5.3 Ensure licence is in place before theses are       18/05/07    01/05/08       Licence                                             SC
      added to live EThOS service

                                                                  Page 24 of 28
                                                                                EThOSnet– Project Plan Workpackages – Version 1.5 – 29 October 2007

                                                                                                   Outputs                                   Responsibility
          Workpackage and activity                      Earliest     Latest            (clearly indicate deliverables &        Milestone
                                                                                                reports in bold)
                                                         Start     Completion

                                                         Date        Date

5.4     Record legal concerns arising from the          01/06/08    30/08/08       Periodic reports to the EThOSnet team         Dates to    All
‘early adopters’ implementation stage and co-                                      depending on dates agreed for the ‘early       link to
ordinate relevant action across the workpackages.                                  adopters’ implementation.                    schedules
                                                                                                                                 for early
                                                        01/07/08    20/12/08       Document commissioning legal advice.                      SC/All
5.5     Seek advice and clarification on identified
        areas of legal concern from IPR lawyer.
                                                        01/08/07    28/02/09       Revised/additional text incorporated into     Toolkit     SC/SB
5.6     Develop additional legal guidelines for                                    the toolkit.                                  interim
        inclusion in toolkit.                                                                                                   updates:
                                                                                                                               Dec. 2007
                                                                                                                               July 2008
                                                                                                                               Dec 2008

SC - Susan Copeland
SB – Simon Bevan

                                                        18/05/07    01/03/09       • Prototypes                                              CA, PN with
WORKPACKAGE 6: Technological enhancements                                          • Best practice guidelines                                AT
                                                                                   • Feasibility reports
Objective: to monitor and test relevant technology
trends so that they can be adopted within the EThOS
service in the future, with an emphasis on 4 areas :
packaging, metadata, web service and SOA, and
surfacing existing theses catalogue records

6.1 Technology Watch – To monitor general technical     18/05/07    01/03/09       Wiki containing information collected        30/4/08      All
developments to assess relevance and applicability to                              through the project by members of the         (mid-
e-theses and EThOS in particular                                                   team                                         project

                                                                   Page 25 of 28
                                                                                   EThOSnet– Project Plan Workpackages – Version 1.5 – 29 October 2007

                                                                                                     Outputs                            Responsibility
          Workpackage and activity                         Earliest     Latest           (clearly indicate deliverables &   Milestone
                                                                                                  reports in bold)
                                                            Start     Completion

                                                            Date        Date

                                                                                                                             review)    CA

                                                                                      Final document capturing the           30/04/09
                                                                                      information within the Wiki             (final
6.2 Repository software configuration – To ensure that     1/06/07     31/07/08       Documentation and associated           31/07/08   PN, CA
existing versions of repository software systems can                                  recommendations for EPrints, DSpace
be configured to work with EThOS, and develop                                         and Fedora as required and standard
standard guidance on future configuration.                                            guidance for future configuration.
Discussions are to also be undertaken with users of
commercial repository systems.
6.3 Surfacing existing these records within EThOS –        1/7/07      31/12/07       Best practice report, test             31/12/07   PN, CA
To investigate and make recommendations on the                                        implementations and recommendations
most appropriate means of enabling existing                                           for EThOS
institutional theses records to be surfaced within

6.4Metadata – To review the UK Core Metadata Set           1/8/07      31/01/08       Review and proposals for schema        31/01/08   PN, CA, AT
and UKETD-DC Application Profile to assess its                                        enhancement
continuing usefulness and propose developments
where appropriate

6.5 Web services investigation and development – To        1/9/07      29/02/08       (1) Feasibility report                 29/02/08   CA
carry out a feasibility study of the use of web services                              (2) Prototype services
and SOA as part of the EThOS service and produce
prototypes where appropriate
6.6Packaging – To investigate packaging standards          1/10/07     31/3/08        Best practice report, test              313/08    CA, PN
for e-theses, their applicability for EThOS and provide                               implementations and recommendations
best practice recommendations                                                         for EThOS

6.7Discovery to Delivery – To review the information       1/5/08      31/10/08       Best practice report, test             31/10/08   CA, PN
chain for e-theses in the context of EThOS to ensure                                  implementations and recommendations

                                                                      Page 26 of 28
                                                                                     EThOSnet– Project Plan Workpackages – Version 1.5 – 29 October 2007

                                                                                                       Outputs                                 Responsibility
           Workpackage and activity                          Earliest     Latest           (clearly indicate deliverables &      Milestone
                                                                                                    reports in bold)
                                                              Start     Completion

                                                              Date        Date

user needs are met through available technologies                                       for EThOS

6.8Plagiarism and security – To assess technologies           1/6/08     30/11/08       Best practice report, test                30/11/08     CA, PN
for supporting the detection of plagiarism of e-theses                                  implementations and recommendations
surfaced through EThOS and security of the theses                                       for EThOS
delivered, and report on best practice

6.9Architecture – To review the technical architecture        1/7/08     31/12/08       Review and proposals for architectural    31/12/08     CA, AT
implemented by the EThOS service to ensure its                                          enhancement
continued ability to meet needs and propose
developments where appropriate

6.10 End of project updates                                   1/2/09     01/03/09       To review all tasks and update outputs     304/09      All
                                                                                        accordingly to take account of latest
                                                                                        developments, where relevant

CA – Chris Awre
PN – Paul Needham
AT – Anthony Troman
WORKPACKAGE 7: Evaluation and exit strategy                  08/10/08    01/3/09

Objective: To evaluate EThOS from the perspective
of users (both libraries and researchers) with a view to
informing plans for sustainability of the service into the

7.1 Carry out tendering process for independent              14/08/08    30/09/08       Tender issued and consultants                          KOL
    summative evaluation                                                                appointed
7.2 Carry out summative evaluation                           01/10/08    01/03/09       Summative evaluation report              Milestone 1   External
7.3 Develop long-term business plan for EThOS                01/06/08    01/03/09       Business plan for sustainable service    Milestone 2   KOL, AT,

                                                                        Page 27 of 28
                                                            EThOSnet– Project Plan Workpackages – Version 1.5 – 29 October 2007

                                                                            Outputs                              Responsibility
         Workpackage and activity   Earliest     Latest         (clearly indicate deliverables &   Milestone
                                                                         reports in bold)
                                     Start     Completion

                                     Date        Date

Kevin O’Leary (KOL)
Anthony Troman (AT)

                                               Page 28 of 28